Regulators open global sandbox
Pilot project is organized by group that includes regulators from around the world
- By: James Langton
- January 31, 2019 November 13, 2019
- 11:09
Latest news in From the Regulators
U.K. regulator urges effective stewardship
FCA releases two papers aimed at promoting sustainable, long-term investment
- By: James Langton
- January 30, 2019 November 13, 2019
- 13:11
MX seeks candidates for disciplinary committees
Applications are due March 1
- By: James Langton
- January 29, 2019 November 13, 2019
- 14:20
FINRA study finds performance issues with broker-affiliated ATS routing
Firms receive lower fill rates and higher trading costs
- January 29, 2019 November 13, 2019
- 11:00
FCA moves to improve investment outcomes for retirees
One-in-three retirees are unaware of where their money is invested, U.K. regulator finds
- January 28, 2019 November 13, 2019
- 14:45
OSC permanently bans convicted fraudster
Panel calls Michelle Dunk’s misconduct “extremely serious”
- By: James Langton
- January 25, 2019 November 13, 2019
- 17:10
ASC warns of “recovery room scheme”
Organization targets money losing investors
- By: The Canadian Press
- January 24, 2019 November 13, 2019
- 16:15
OSFI issues cybersecurity advisory to banks, insurers
Advisory outlines which security incidents should be reported and when
- By: James Langton
- January 24, 2019 November 13, 2019
- 14:35
Ontario man pleads guilty to violating trading ban
Activities with start-up a violation of 2011 order, OSC says
- By: James Langton
- January 24, 2019 November 13, 2019
- 12:50
OSFI decision to increase capital buffer for banks an effort to increase transparency
Banking regulator hopes future changes to the buffer will be seen as normal
- By: James Langton
- January 23, 2019 November 13, 2019
- 16:00
Regulators vital for well-functioning capital markets
CGFS report recommends policy measures for bolstering capital markets
- By: James Langton
- January 23, 2019 November 13, 2019
- 14:45
U.K. regulator consults on cryptoassets guidance
FCA consultation paper sets out which cryptoasset activities it regulates
- By: James Langton
- January 23, 2019 November 13, 2019
- 11:20
FINRA releases 2019 compliance exam priorities
Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization
- January 22, 2019 November 13, 2019
- 14:45
Building confidence in digital assets
Proposed ATS would let retail clients trade digital assets within their existing brokerage accounts
- By: James Langton
- January 22, 2019 November 13, 2019
- 14:20
FSRA to focus on reducing regulatory burden
Ontario’s new insurance regulator releases draft priorities and budget
- By: James Langton
- January 22, 2019 November 13, 2019
- 11:45
A disruptive force
The Ontario government, elected last June, has a policy of deregulation in general, but also is willing to interfere with policy-making directly
- By: James Langton
- January 21, 2019 November 13, 2019
- 00:11
IIROC enforcement activity was flat in 2018
But the total number of decisions rendered by IIROC hearing panels against both firms and advisors increased year-over-year
- By: James Langton
- January 18, 2019 November 13, 2019
- 16:04
NSSC issues warning about HQBroker
Regulators in Ontario, New Brunswick and Hong Kong already have issued their own warnings about the firm
- By: James Langton
- January 18, 2019 November 13, 2019
- 11:56
IOSCO calls for greater ESG disclosure
The new guidance from global regulators comes amid increasing investor demand for ESG disclosure
- By: James Langton
- January 18, 2019 November 13, 2019
- 10:13
BCSC to reimburse $1M to wronged investors
The money comes from selling the property of a former mutual fund salesperson
- By: IE Staff
- January 17, 2019 November 13, 2019
- 14:20
IOSCO aims for improved audit quality
Report recommends a series of best practices to help audit committees ensure high-quality financial audits
- By: James Langton
- January 17, 2019 November 13, 2019
- 13:54
CSA extends comment period on proposed pilot study
TMX Group asked the regulators last week for more time to analyze and provide feedback on the plans
- By: James Langton
- January 17, 2019 November 13, 2019
- 11:51
IIROC releases priorities for 2019
Focus is on enhanced testing, compensation-related conflicts
- By: IE Staff
- January 15, 2019 November 13, 2019
- 15:35
OSC establishes task force to reduce regulatory burden
The regulator will look to scrap outdated rules, streamline disclosure requirements and make operational changes to enhance or speed up its dealings with the industry
- By: James Langton
- January 14, 2019 November 13, 2019
- 13:03
TMX wants more time on proposed trading fee rebate pilot study
Securities regulators in Canada and the U.S. are planning a coordinated study
- By: James Langton
- January 10, 2019 November 13, 2019
- 14:37